Brian A. Carlis, Shareholder and Co-Chair of the Investment Management & Securities practice, represents clients in all aspects of securities arbitration proceedings and regulatory matters. Mr. Carlis counsels the financial services industry on a wide range of topics including, formation, compliance and employment-related matters.
Mr. Carlis is a frequent lecturer and commentator on securities arbitration and investment-related matters and has conducted arbitrator-training seminars for the Financial Industry Regulatory Authority, Office of Dispute Resolution. He has also conducted in-house seminars for brokerage and investment advisory firms, focusing on ways to minimize exposure to litigation and arbitration expense and regulatory scrutiny.
